EMPLOYMENT DISPUTE RESOLUTION PLAN
FOR THE UNITED STATES DISTRICT COURT
FOR THE NORTHERN DISTRICT OF ILLINOIS
CHAMBERS STAFF
CLERK’S OFFICE
OFFICIAL COURT REPORTERS
PRETRIAL SERVICES
PROBATION OFFICE
I. INTRODUCTION
The Federal Judiciary is committed to a workplace of respect, civility, fairness, tolerance,
and dignity, free of discrimination and harassment. These values are essential to the
Judiciary, which holds its Judges and Employees to the highest standards. All Judges and
Employees are expected to treat each other accordingly.
This Plan (“EDR Plan” or “Plan”) provides options for the reporting and resolution of
allegations of wrongful conduct (discrimination, sexual, racial, or other discriminatory
harassment, abusive conduct, and retaliation) in the workplace. Early action is the best way
to maintain a safe work environment. All Judges, Employing Offices, and Employees have
a responsibility to promote workplace civility, to prevent harassment or abusive conduct,
and to take appropriate action upon receipt of reliable information indicating a likelihood
of wrongful conduct under this Plan. See Code of Conduct for Judicial Employees, Canon
3(C).
This Plan applies to all Judges, current and former Employees (including all law clerks,
chambers employees, court reporters, paid and unpaid interns, externs, and other
volunteers, and probation and pretrial services employees), and applicants for employment
who have been interviewed. The following persons cannot seek relief under this Plan:
Judges, applicants for judicial appointment, and any other non-Employees not specified
above. See Appendix 1 for full definitions of Judges and Employees.
The Court expects that all persons in the courthouse or having business with the Court,
including persons who are neither Judges nor Employees, will conduct themselves in a
manner consistent with Chapter II below. As for Judges, this Plan is intended to
supplement, not supersede, the provisions for resolving complaints of judges’ misconduct
or disability under 28 U.S.C. §§ 351-364.
II. WRONGFUL CONDUCT
This Plan prohibits wrongful conduct that occurs during the period of employment or the
interview process (for an applicant).
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A. Wrongful conduct includes:
discrimination;
sexual, racial, and other discriminatory harassment;
abusive conduct; and
retaliation (including retaliation as described in the Whistleblower Protection
Provision in Guide to Judiciary Policy, Vol. 12, § 220.10.20(c)).
Wrongful conduct can be verbal or non-verbal, physical or non-physical.
Wrongful conduct also includes conduct that would violate the following
employment laws and policy, as applied to the Judiciary by Judicial Conference policy:
Title VII, Civil Rights Act of 1964;
Age Discrimination in Employment Act of 1967;
Americans with Disabilities Act of 1990 and the Rehabilitation Act of 1973
(see Appendix 6 for further information regarding Reasonable
Accommodations);
Family and Medical Leave Act of 1993;
Uniformed Services Employment and Reemployment Rights Act of 1994;
Whistleblower Protection Provision (Guide, Vol. 12, § 220.10.20(c));
Worker Adjustment and Retraining Notification Act;
Occupational Safety and Health Act; and
The Employee Polygraph Protection Act of 1988.
See Guide, Vol. 12, Ch. 2.
B. Discrimination is an adverse employment action that materially affects the terms,
conditions, or privileges of employment (such as hiring, firing, failing to promote, or a
significant change in benefits) based on the following Protected Categories: race, color,
sex, gender, gender identity or expression, pregnancy, sexual orientation, religion, national
origin, age (40 years and over)1 , mental or physical disability, veteran status, or genetic
information.
C. Discriminatory harassment is unwelcome conduct that is based on a Protected
Category that is subjectively and objectively offensive, and has the purpose or effect of
unreasonably interfering with or disrupting an individual’s work performance or creating
an abusive, hostile, or intimidating work environment. Discriminatory harassment can be
physical, verbal, and/or nonverbal, and need not rise to the level of severe or pervasive
conduct. Discriminatory harassment includes sexual harassment.
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The age discrimination provision does not apply to hiring, retirement, or separation of probation and pretrial
services officers under 5 U.S.C. chapters 83 and 84.
2
Examples of conduct that may give rise to discriminatory harassment: epithets,
threats, or slurs; derogatory comments about a person’s race, gender identity, ethnicity,
culture, or foreign accent; jokes about a person’s age, disability, citizenship, or sexual
orientation; or drawings, cartoons, or other behavior that is insulting or derogatory of
persons based on their protected status.
Examples of conduct that may give rise to sexual harassment: suggestive or obscene
notes, emails, text messages, comments, gestures, or other types of communications;
sexually degrading comments; display of sexually suggestive objects or images;
unwelcome or inappropriate touching or physical contact; unwelcome sexual advances or
propositions; inappropriate remarks of a sexual nature or about physical appearance;
repeated sexual jokes, flirtations, advances or propositions, or discussions of sexual activity
(whether in conversation or through electronic or other means); promotion, retention or
other employment actions (positive or negative) affected by an individual’s submission to,
or rejection of, sexual advances; or favoritism based on submission (consensual or
nonconsensual) to sexual advances.
Gender based harassment is prohibited whether or not the offensive conduct is
sexual in nature, and whether or not the harasser and the person being harassed are of the
same gender or different genders.
D. Abusive Conduct is a pattern of demonstrably egregious and hostile conduct not
based on a Protected Category that unreasonably interferes with an Employee’s work and
creates an abusive working environment. Abusive conduct includes conduct that is
threatening, oppressive, bullying, or intimidating.
Abusive conduct does not include communications and actions reasonably related
to performance management, including but not limited to: instruction, corrective criticism,
and evaluation; performance improvement plans; duty assignments and changes to duty
assignments; office organization; progressive discipline; and adverse action.
E. Retaliation is a materially adverse action taken against an Employee for reporting
allegedly wrongful conduct; for assisting in the defense of rights protected by this Plan; or
for opposing allegedly wrongful conduct. Retaliation against a person who reveals or
reports allegedly wrongful conduct is itself wrongful conduct. This Plan prohibits any
person from treating any other person adversely for reporting alleged harassment,
discrimination, or retaliation, for assisting another individual in making such a report, for
cooperating in an investigation into such conduct, or for proceeding to/participating in a
hearing.
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III. REPORTING WRONGFUL CONDUCT
The Judiciary encourages early reporting of and action on wrongful conduct. If you believe
that you or another person have been subjected to discrimination, harassment, retaliation,
or inappropriate sexual or other behavior, you may ask the offender to stop engaging in the
objectionable behavior. In addition, Employees who experience, observe, or learn of
reliable evidence of sexual, racial, or other discriminatory harassment or abusive conduct
are strongly encouraged to take appropriate action, including reporting it to a supervisor,
human resources professional, ILND External EDR Counselor, Unit Executive,
Employment Dispute Resolution (“EDR”) Coordinator, Chief Judge, Chief Circuit Judge,
Circuit Director of Workplace Relations, or to the national Office of Judicial Integrity. See
Code of Conduct for Judicial Employees, Canon 3(C). Employees are also encouraged to
report wrongful conduct in the workplace by non-Employees. Court and chambers’
confidentiality requirements do not prevent any Employee—including law clerks or
externs—from revealing or reporting wrongful conduct by any person.
If a non-Employee (including, but not limited to, a person who works for an outside agency
such as the United States Marshals Service (including Court Security Officers), United
States Attorney’s Office, General Services Administration, or local law enforcement) is
alleged to have committed wrongful conduct, the Chief Judge or court unit executive
should confidentially report the allegation to the head of the agency and request an internal
investigation to be followed within a reasonable time by a final report of the outcome of
the investigation to the Chief Judge or court unit executive.
In addition (or instead, if such informal requests are ineffective or impractical under the
circumstances), you may report discrimination or other inappropriate behavior promptly
and before the behavior has become severe or pervasive. Prompt reporting could prevent
the behavior from escalating and allows the court to respond rapidly and to take appropriate
action to minimize harm to individuals involved and to minimize the disruption to our work
environment.
Any manager, supervisor, or judge who is aware of conduct inconsistent with this Plan or
who receives a report of conduct inconsistent with this Plan must report it immediately to
the Chief Judge, Unit Executive, Employment Dispute Resolution (“EDR”) Coordinator,
Chief Circuit Judge, Circuit Director of Workplace Relations, or to the national Office of
Judicial Integrity.
IV. OPTIONS FOR RESOLUTION
The Judiciary’s goal is to address wrongful conduct as soon as possible and to provide
multiple, flexible options for doing so. An Employee is always free to address a conduct
issue directly with the person who allegedly committed wrongful conduct or to contact a
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colleague, supervisor, Unit Executive, Judge, Chief Judge, or other individual to discuss or
address the situation. This Plan provides the following additional options, and Employees
may choose the option(s) that best fit their needs and comfort level.
A. Plan Options. This Plan provides three options to address wrongful conduct, as
explained in detail below:
1. Informal Advice
2. Assisted Resolution
3. Formal Complaint
B. General Rights. All options for resolution are intended to respect the privacy of all
involved to the greatest extent possible, and to protect the fairness and thoroughness of the
process by which allegations of wrongful conduct are initiated, investigated, and ultimately
resolved.
1. Confidentiality. All individuals involved in the processes under this Plan must
protect the confidentiality of the allegations of wrongful conduct. Information will be
shared only to the extent necessary and only with those whose involvement is necessary to
address the situation. An assurance of confidentiality must yield when there is reliable
information of wrongful conduct that threatens the safety or security of any person or that
is serious or egregious such that it threatens the integrity of the Judiciary.
Confidentiality obligations in the Code of Conduct for Judicial Employees
concerning use or disclosure of confidential information received in the course of official
duties do not prevent nor should they discourage Employees from reporting or disclosing
wrongful conduct, including sexual, racial, or other forms of discriminatory harassment by
a Judge, supervisor, or other person.
Supervisors, Unit Executives, and Judges must take appropriate action when
they learn of reliable information of wrongful conduct, such as sexual, racial, or other
discriminatory harassment, which includes informing the Chief Judge.
2. Impartiality. All investigations, hearings, and other processes under this Plan
must be conducted in a thorough, fair, and impartial manner. The EDR Coordinator, the
Circuit Director of Workplace Relations, and the Presiding Judicial Officer must be
impartial and may not act as an advocate for either Party. The EDR Coordinator, Circuit
Director of Workplace Relations, or Presiding Judicial Officer must recuse if he or she
participated in, witnessed, or was otherwise involved with the conduct or employment
action giving rise to the claim. Recusal of these individuals is also required if the matter
creates an actual conflict or the appearance of a conflict.
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3. Right to representation. Both the Employee and the Employing Office
responsible for providing any remedy have the right to be represented by an attorney or
other person of their choice at their own expense. Another Employee may assist the
Employee or Employing Office if doing so will not constitute a conflict of interest or
unduly interfere with the Employee’s duties, as determined by the assisting Employee’s
appointing officer.
4. Interim Relief. An Employee, including a law clerk or other chambers
employee, who pursues any of the options under this Plan may request transfer, an
alternative work arrangement, or administrative leave if the Employee alleges egregious
conduct by a supervisor, Unit Executive, or Judge that makes it untenable to continue
working for that person. Any such request must be made to the Unit Executive or Chief
Judge, as appropriate, to determine appropriate interim relief, if any, taking into
consideration the impact on any Employing Office.
5. Allegations Regarding a Judge. An Employee alleging that a Judge has
engaged in wrongful conduct may use any of the options for resolution as set forth in
Section C. An Employee may also file a complaint under the Judicial Conduct and
Disability Act, 28 U.S.C. §§ 351−364. Except for the Informal Advice Option described in
Section IV.C.1, the person contacted by the Employee regarding an EDR-related matter
involving a judge shall also promptly notify the Chief Judge and the Chief Judge of the
Seventh Circuit (unless the Chief District Judge is the subject of the Complaint, in which
case the Complaint will be given only to the Chief Circuit Judge) either directly or through
the Circuit Director of Workplace Relations).
C. Specific Options
1. Informal Advice. An Employee may contact an EDR Coordinator, ILND
External EDR Counselor, Circuit Director of Workplace Relations, or the national Office
of Judicial Integrity for confidential advice and guidance (see § IV.B.1) about a range of
topics including:
the rights and protections afforded under this Plan, the Judicial Conduct
and Disability Act, and any other processes;
ways to respond to wrongful conduct as it is happening; and/or
options for addressing the conduct, such as informal resolution,
participating in Assisted Resolution, or pursuing a Formal Complaint
under this Plan, the Judicial Conduct and Disability Act, or any other
processes.
2. Assisted Resolution. Assisted Resolution is an interactive, flexible process that
may include:
discussing the matter with the person whose behavior is of concern;
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conducting a preliminary investigation, including interviewing persons
alleged to have violated rights under this Plan and witnesses to the
conduct;
engaging in voluntary mediation between the persons involved; and/or
resolving the matter by agreement.
a. To pursue this option, an Employee must contact an EDR Coordinator or
Circuit Director of Workplace Relations and complete a “Request for Assisted Resolution”
(Appendix 2). An Employee asserting any claim of Abusive Conduct as defined in §
II.Dmust first use Assisted Resolution before filing a Formal Complaint. Filing a Request
for Assisted Resolution tolls (extends) the time for filing a Formal Complaint under §
IV.C.3, but in no event shall the deadline exceed 300 days from the date that triggers the
180-day clock as set forth in § IV.C.3.a.
b. If the allegations concern the conduct of a Judge, the Chief Judge must be
notified and will be responsible for coordinating any Assisted Resolution and/or taking any
other action required or appropriate under the circumstances. If the allegations concern the
conduct of the Chief Judge, the next district court judge eligible to be chief judge shall take
the role of Chief Judge for all proceedings relating to this Plan. See, e.g., Rules for Judicial-
Conduct and Judicial-Disability Proceedings.
c. If the allegations concern the conduct of an Employee, the EDR Coordinator
or Circuit Director of Workplace Relations will coordinate Assisted Resolution and must
notify the appropriate Unit Executive(s). The Unit Executive is responsible for assessing
the allegation(s) and taking appropriate steps to resolve the matter. If the allegations
concern the conduct of a Unit Executive, the EDR Coordinator must notify the Chief Judge,
who is responsible for assessing the allegation(s) and addressing the matter as appropriate.
d. The Unit Executive or Chief Judge responsible for assessing the allegations,
as indicated in (b) and (c) above, may deny the Request for Assisted Resolution at any time
if he or she concludes it is frivolous; it does not allege violations of the rights or protections
in this Plan; the alleged conduct arises out of the same facts and circumstances, and was
resolved by, a previous EDR Complaint or other claim process or procedure; or on other
appropriate grounds.
e. If Assisted Resolution is successful in resolving the matter, the Parties will
so acknowledge in writing.
f. The Parties by mutual assent, or at the discretion of the EDR Coordinator or
Circuit Director of Workplace Relations, will determine when to conclude the Assisted
Resolution process. If Assisted Resolution is not successful in resolving the matter, the
EDR Coordinator or Circuit Director of Workplace Relations will advise the Employee of
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the Employee’s rights to file a Formal Complaint and/or pursue action under the Judicial
Conduct and Disability Act, if applicable, or any other processes.
3. Filing a Formal Complaint. An Employee may file a Formal Complaint
(“Complaint”) with any of the Court’s EDR Coordinators to address a claim of wrongful
conduct.
a. To file a Complaint, an Employee must submit a “Formal Complaint”
(Appendix 3) to any of the Court’s EDR Coordinators within 180 days of the alleged
wrongful conduct or within 180 days of the time the Employee becomes aware or
reasonably should have become aware of such wrongful conduct. Use of the Assisted
Resolution options tolls (extends) this 180-day deadline until the Assisted Resolution
process(es) conclude(s). Also, the chief judge of the relevant court may, in writing to the
potential complaining party, extend the 180-day deadline for good cause. But in no event
shall the deadline exceed 300 days from the date of the alleged wrongful conduct or the
time the Employee becomes aware or reasonably should have become aware of such
wrongful conduct.
b. An Employee asserting any claim of Abusive Conduct as defined in § II.D
must first use Assisted Resolution before filing a Formal Complaint.
c. The Employee filing the Complaint is called the Complainant. The Party
responding to the Complaint is the Employing Office that is responsible for providing any
appropriate remedy and is called the Respondent. The Complaint is not filed against any
specific individual(s) but against the Employing Office.
d. Complaint Regarding a Judge. An Employee alleging that a Judge has
engaged in wrongful conduct may file a Complaint under this Plan. The EDR Coordinator
must immediately provide a copy of the Complaint to the Chief District Judge and the Chief
Circuit Judge (or the next most-senior active Circuit Judge, if the allegation is against the
Chief Circuit Judge), who will oversee the EDR Complaint process. If a Judge is the subject
of the Complaint, the EDR Coordinator must also provide a copy of the Complaint to the
Chief District Judge (unless the Chief District Judge is the subject of the Complaint, in
which case the Complaint will be given only to the Chief Circuit Judge).
If a Judge becomes the subject of both a Complaint under this Plan and a
complaint under the Judicial Conduct and Disability Act, the Chief Circuit Judge will
determine the appropriate procedure for addressing both, which may include holding the
EDR claim in abeyance and determining how best to find any common issues of fact,
subject to all requirements of the Judicial Conduct and Disability Act, the Rules for
Judicial-Conduct and Judicial-Disability Proceedings, and, as practicable, this EDR Plan.
Regardless of whether there is a formal complaint under the Judicial Conduct and
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Disability Act, the Chief Circuit Judge should consider the need for any necessary or
appropriate interim relief.
e. Formal Complaint Procedures and Procedural Rights
i. Appointment of Presiding Judicial Officer. Upon receipt of a Complaint,
the EDR Coordinator will immediately send a copy of the Complaint to the Chief Judge,
who will appoint a Presiding Judicial Officer. The Presiding Judicial Officer will be a Judge
in the Court or, when appropriate, a Judge from another Court (with the consent of the
respective Chief Judge of that Court).
ii. Presiding Judicial Officer. The Presiding Judicial Officer oversees the
Complaint proceeding. The Presiding Judicial Officer will provide a copy of the Complaint
to the head of the Employing Office against which the Complaint has been filed
(Respondent), except when the Presiding Judicial Officer determines for good cause that
the circumstances dictate otherwise. The Presiding Judicial Officer must provide the
individual alleged to have violated rights under this Plan notice that a Complaint has been
filed and the nature and substance of the Complaint allegations.
The Presiding Judicial Officer will provide for appropriate investigation
and discovery, allow for settlement discussions, determine any written submissions to be
provided by the Parties, determine if a hearing is needed, determine the time, date, and
place of the hearing, issue a written decision, and, if warranted, order remedies.
iii. Disqualification and Replacement. Either Party may seek disqualification
of the EDR Coordinator or the Presiding Judicial Officer by written request to the Chief
Judge, explaining why the individual should be disqualified.
If the Presiding Judicial Officer is disqualified, the Chief Judge will
designate another Judge to serve as Presiding Judicial Officer. If the EDR Coordinator is
disqualified, the Chief Judge will appoint one of the alternate EDR Coordinators or, if
available, an EDR Coordinator from another Court (with the consent of the respective
Chief Judge of that Court).
iv. Response. The Respondent may file a Response to the Complaint with
the EDR Coordinator within 30 days of receiving the Complaint. The EDR Coordinator
must immediately send the Response to the Presiding Judicial Officer and to the
Complainant.
v. Investigation and Discovery. The Presiding Judicial Officer will ensure
that the allegations are thoroughly, impartially, and fairly investigated, and may use outside
trained investigators if warranted. The investigation may include interviews with persons
alleged to have violated rights under this Plan and witnesses, review of relevant records,
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and collecting documents or other records. The Presiding Judicial Officer will provide for
such discovery to the Complainant and Respondent as is necessary and appropriate. The
Presiding Judicial Officer will also determine what evidence and written arguments, if any,
are necessary for a fair and complete assessment of the allegations and response.
vi. Case preparation. The Complainant may use official time to prepare the
Complainant’s case, so long as it does not unduly interfere with the performance of duties.
vii. Extensions of time. Any request for an extension of time must be in
writing. The Presiding Judicial Officer may extend any of the deadlines set forth in this
EDR Plan for good cause, except for the deadline to issue a written decision, which may
be extended only by the Chief Judge.
viii. Established Precedent. In reaching a decision, the Presiding Judicial
Officer should be guided by judicial and administrative decisions under relevant rules and
statutes, as appropriate. The Federal Rules of Evidence and any federal procedural rules do
not apply.
ix. Notice of Written Decision. The EDR Coordinator or Presiding Judicial
Officer will immediately send a copy of the written decision to the Parties, the Chief Judge
of the Court, and to any individual alleged to have violated rights protected by this Plan.
The EDR Coordinator will inform the Parties of appeal rights, procedures, and deadlines.
f. Resolution of Complaint Without a Hearing. After notifying the Parties
and giving them an opportunity to respond, the Presiding Judicial Officer may resolve the
matter without a hearing.
i. The Presiding Judicial Officer may dismiss a Complaint and issue a
written decision at any time in the proceedings on the grounds that: it is untimely filed, is
frivolous, fails to state a claim, or does not allege violations of the rights or protections in
this Plan; the alleged conduct arises out of the same facts and circumstances, and was
resolved by, a previous EDR Complaint or other claim process or procedure; or on other
appropriate grounds.
ii. After completion of investigation and discovery, the Presiding Judicial
Officer may, on the Judicial Officer’s own initiative or at the request of either Party, issue
a written decision if the Presiding Judicial Officer determines that no relevant facts are in
dispute and that one of the Parties is entitled to a favorable decision on the undisputed facts.
iii. The Parties may enter into an agreed written settlement if approved in
writing by the Presiding Judicial Officer and the Chief Judge.
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g. Resolution of Complaint With a Hearing. If the Complaint is not resolved
in its entirety by dismissal, Assisted Resolution, decision without a hearing, or settlement,
the Presiding Judicial Officer will order a hearing on the merits of the Complaint.
i. Hearing. The hearing will be held no later than 60 days after the filing of
the Complaint unless the Presiding Judicial Officer extends the deadline for good cause.
The Presiding Judicial Officer will determine the place and manner of the hearing.
ii. Notice. The Presiding Judicial Officer must provide reasonable notice of
the hearing date, time, and place to the Complainant, the Respondent, and any individual(s)
alleged to have violated the Complainant’s rights.
iii. Right to Present Evidence. The Complainant and Respondent have the
right to present witnesses and documentary evidence and to examine adverse witnesses.
iv. Record of Proceedings. A verbatim record of the hearing must be made
and will be the official record of the proceeding. This may be a digital recording or a
transcript.
v. Written Decision. The Presiding Judicial Officer will make findings of
fact and conclusions of law and issue a written decision no later than 60 days after the
conclusion of the hearing, unless an extension for good cause is granted by the Chief Judge.
h. Remedies. When the Presiding Judicial Officer finds that the Complainant
has established by a preponderance of the evidence (more likely than not) that a substantive
right protected by this Plan has been violated, the Presiding Judicial Officer may direct the
Employing Office to provide remedies for the Complainant. The remedies are limited to
providing relief to the Complainant, should be tailored as closely as possible to the specific
violation(s) found, and take into consideration the impact on any Employing Office. The
Chief Judge and Employing Office (Respondent) must take appropriate action to carry out
the remedies ordered in the written decision, subject to any applicable policies or
procedures.
i. Allowable Remedies may include:
placement of the Complainant in a position previously denied;
placement of the Complainant in a comparable alternative position;
reinstatement to a position from which the Complainant was
previously removed;
prospective promotion of the Complainant;
priority consideration of the Complainant for a future promotion or
position;
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back pay and associated benefits, when the statutory criteria of the
Back Pay Act are satisfied2;
records modification and/or expungement;
granting of family and medical leave;
“equitable” relief, such as temporary stays of adverse actions;
any reasonable accommodation(s); and
any other appropriate remedy to address the wrongful conduct.3
ii. Unavailable Remedies. Other than under the Back Pay Act, monetary
damages are not available. The Presiding Judicial Officer may award attorney’s fees only
if the statutory requirements under the Back Pay Act are satisfied.
i. Review of Decision (Appeal). A party aggrieved by the final decision of the
Presiding Judicial Officer may appeal the decision to the Judicial Council of the Seventh
Circuit by submitting in writing a Request for Review of Decision (“appeal”) setting forth
the grounds for appeal within 30 days of the date of the final decision. The EDR
Coordinator will inform the parties of the procedures for seeking review, which are set
forth in Appendix 4. The decision will be reviewed based on the record created by the
Presiding Judicial Officer and affirmed if supported by substantial evidence and the proper
application of legal principles.
2
Back Pay Act. Remedies under the Back Pay Act, including attorney’s fees, may be ordered only when the
statutory criteria of the Back Pay Act are satisfied, which include: (1) a finding of an unjustified or unwarranted
personnel action; (2) by an appropriate authority; (3) which resulted in the withdrawal or reduction of all or part of
the Employee’s pay, allowances, or differentials. An order of back pay is subject to review and approval by the
Director of the Administrative Office of the United States Courts. See 5 U.S.C. § 5596(b)(1) and Guide, Vol. 12, §
690.
3
The issue in an EDR Complaint is whether the Employing Office is responsible for the alleged conduct; it is not an
action against any individual. The Presiding Judicial Officer lacks authority to impose disciplinary or similar action
against an individual. When there has been a finding of wrongful conduct in an EDR proceeding, an appointing
official, or official with delegated authority, should separately assess whether further action, in accordance with any
applicable policies and procedures, is necessary to correct and prevent wrongful conduct and promote appropriate
workplace behavior, such as:
• an apology to the victim;
• requiring counseling or training;
• ordering no contact with the Complainant;
• reassigning or transferring an Employee;
• oral or written reprimand of the Employee who engaged in wrongful conduct;
• issuing a suspension, probation, or demotion of the Employee who engaged in wrongful conduct; and/or
• terminating employment for the Employee who engaged in wrongful conduct.
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V. COURT AND EMPLOYING OFFICE OBLIGATIONS
To ensure that Employees are aware of the options provided by this Plan, and that the Plan
is effectively implemented, the Court and the Employing Offices covered under this Plan
must adhere to the following:
A. Records. At the conclusion of informal or formal proceedings under this Plan, all
papers, files, and reports will be filed with the EDR Coordinator. No papers, files, or reports
relating to an EDR matter will be filed in any Employee’s personnel folder, except as
necessary to implement an official personnel action.
Final decisions under this Plan will be made available to the public, appropriately
redacted, in accordance with procedures established by the judicial council of the Seventh
Circuit.
B. EDR Coordinators. The Chief Judge will designate both a primary EDR
Coordinator and at least one alternate EDR Coordinator for the Court. The Court may use
an EDR Coordinator from another Court, or may use the Circuit Director of Workplace
Relations as an alternate EDR Coordinator, if necessary, with the approval of the Chief
Judge and the Circuit’s Chief Judge. An Employee may choose the EDR Coordinator with
whom he or she wishes to seek Informal Advice, request Assisted Resolution, or file a
Complaint under this Plan.
An EDR Coordinator must be an Employee who is not a Unit Executive. A Judge
may not be an EDR Coordinator. All EDR Coordinators must be trained and certified as
set forth in the EDR Interpretive Guide and Handbook.
C. Advising Employees of their Rights. The Court and Employing Offices will:
1. prominently post on their internal and external main homepages a direct link,
labeled “Your Employee Rights and How to Report Wrongful Conduct,” to:
the entire Plan with all Appendices and relevant contact information;
the Judicial Conduct and Disability Act, the Rules for Judicial-Conduct and
Judicial-Disability Proceedings, and the Judicial Conduct and Disability
Complaint form; and
contact information for the Court’s EDR Coordinators, the Circuit Director
of Workplace Relations, and the national Office of Judicial Integrity.
2. prominently display in the workplace:
the posters set forth in Appendix 5; and
an Anti-Discrimination and Harassment Notice that: (a) states that
discrimination or harassment based on race, color, national origin, age (40
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years and over at the time of the alleged discrimination), religion, sex, sexual
orientation, gender identity or expression, pregnancy, veteran status,
disability, or genetic information is prohibited; (b) explains that Employees
can report, resolve, and seek remedies for discrimination, harassment, or
other wrongful conduct under the Plan by contacting any of the Court’s EDR
Coordinators and/or the Circuit Director of Workplace Relations, and/or the
national Office of Judicial Integrity; (c) identifies the names and contact
information of all Court EDR Coordinators, the Circuit Director of
Workplace Relations, and the national Office of Judicial Integrity; and (d)
states where the Plan can be located on the Court’s website.
3. ensure that each new Employee receives an electronic or paper copy of the Plan
and acknowledges in writing that he or she has read the Plan within the first week of
employment;
4. ensure that each Employee receives an electronic copy of the Plan annually; and
5. conduct training annually for all Judges and Employees, including chambers
staff, to ensure that they are aware of the rights and obligations under the Plan and the
options available for reporting wrongful conduct and seeking relief.
D. Reporting. The Court and Employing Offices will provide annually, to the
Administrative Office of the United States Courts, data on: (1) the number and types of
alleged violations for which Assisted Resolution was requested, and for each matter,
whether it was resolved or was also the subject of a Complaint under the Plan or other
complaint; (2) the number and type of alleged violations for which Complaints under the
Plan were filed; (3) the resolution of each Complaint under the Plan (dismissed or settled
prior to a decision, or decided with or without a hearing); and (4) the rights under the Plan
that were found by decision to have been violated. The Court and Employing Offices
should also provide any information that may be helpful in identifying the conditions that
may have enabled wrongful conduct or prevented its discovery, and what precautionary or
curative steps should be undertaken to prevent its recurrence.
E. Appendices Attached:
1. Definitions
2. Request for Assisted Resolution
3. Formal Complaint Form
4. Request for Review of Decision Procedures and Sample Form
5. Posters
6. Reasonable Accommodations
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This Plan supersedes all prior Model Equal Employment Opportunity and Employment
Dispute Resolution Plans.
Effective date: August 11, 2022
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DEFINITIONS
APPENDIX 1
Circuit Director of Workplace Relations: A circuit Employee who coordinates
workplace conduct issues and the implementation of all Court EDR Plans within the circuit.
The Circuit Director of Workplace Relations may: provide Informal Advice and Assisted
Resolution under any EDR Plan within the circuit; assist in training the EDR Coordinators
within the circuit; provide or arrange for training throughout the circuit on workplace
conduct, discrimination, and sexual harassment; and collect and analyze statistical data and
other information relevant to workplace conduct matters.
Court: The U.S. District Court for the Northern District of Illinois.
Disability: Disability is defined as: a) physical or mental impairment that substantially
limits one or more of the major life activities of an employee, b) a record of such an
impairment, or c) being regarded as having such an impairment.
EDR Coordinator: A Court Employee, other than a Judge or Unit Executive, designated
by the Chief Judge to coordinate all of the Options for Resolution provided for in this Plan.
The EDR Coordinator provides confidential advice and guidance (see § IV.B.1.) if an
Employee seeks Informal Advice; coordinates the Assisted Resolution process, including
any necessary investigation; accepts Complaints under this Plan for filing; and assists the
Presiding Judicial Officer in the Complaint proceeding, as directed. The EDR Coordinator
maintains and preserves all Court files pertaining to matters initiated and processed under
this EDR Plan. The EDR Coordinator assists the Court in meeting its obligations under this
Plan to train and advise employees of their rights under this Plan, and to post the Plan as
directed. Additional information on the EDR Coordinator’s responsibilities may be found
in the EDR Interpretive Guide and Handbook.
Employee: All employees of the Court. This includes Unit Executives and their staffs;
judicial assistants and other chambers employees; law clerks; chief probation officers and
chief pretrial services officers and their respective staffs; court reporters appointed by a
Court; and paid and unpaid interns, externs, and other volunteer employees.
Employing Office/Respondent: The office of the Court that is responsible for providing
any appropriate remedy. The Court is the Employing Office of Judges and chambers
employees.
Illinois Northern External EDR Counselor: An EDR trained and certified non-judiciary
counselor that provides confidential advice and guidance (see § IV.B.1) if an Employee seeks
Informal Advice.
Judge: A judge appointed under Article III of the Constitution or a United States magistrate
judge.
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Office of Judicial Integrity: The office of the Administrative Office of the United States
Courts staffed to provide advice and guidance to Employees nationwide about workplace
conduct issues, including sexual, racial, and other discriminatory harassment, abusive
conduct and other wrongful conduct. Contact information for the Office of Judicial
Integrity can be found on JNet and on uscourts.gov.
Parties: The Employing Office and the Employee who has filed a request for Assisted
Resolution or a Formal Complaint.
Protected Category: Race, color, sex, gender, gender identity and expression, pregnancy,
sexual orientation, religion, national origin, age (40 years and over),* veteran status, mental
or physical disability, or genetic information.
Unit Executive: Clerk of court, chief probation officer, and chief pretrial services officer.
*
The age discrimination provision does not apply to hiring, retirement, or separation of probation and pretrial services
officers under 5 U.S.C. chapters 83 and 84.
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REQUEST FOR ASSISTED RESOLUTION
APPENDIX 2
Submitted under the Procedures of
the Seventh Circuit Employment Dispute Resolution Plan**
Court:
Full name of person submitting the form:
Your mailing address:
Your email address:
Your phone number(s):
Office in which you are employed or applied to:
Name and address of Employing Office from which you seek assistance (if the matter
involves a judge or chambers employee, the Employing Office is the Court):
Your job title/job title applied for:
Date of interview (for interviewed applicants only):
Date(s) of alleged incident(s) for which you seek Assisted Resolution:
Summary of the actions or occurrences for which you seek Assisted Resolution (attach
additional pages as needed):
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Names and contact information of any witnesses to the actions or occurrences for
which you seek Assisted Resolution:
Describe the assistance or corrective action you seek:
Alleged Wrongful Conduct for which you seek Assisted Resolution (check all that apply):
□ Discrimination based on (check all □ Harassment based on (check all that
that apply): apply):
□ Race □ Race
□ Color □ Color
□ Sex □ Sex
□ Gender □ Gender
□ Gender identity or expression □ Gender identity or expression
□ Pregnancy □ Pregnancy
□ Sexual orientation □ Sexual orientation
□ Religion □ Religion
□ National origin □ National origin
□ Age □ Age
□ Veteran status □ Veteran status
□ Disability □ Disability
□ Genetic information □ Genetic information
□ Citizenship □ Citizenship
□ Abusive Conduct □ Uniform Services □ Occupational Safety
□ Retaliation Employment and and Health
□ Whistleblower Reemployment □ Polygraph Protection
Protection Rights □ Other (describe)
□ Family and Medical □ Worker Adjustment
Leave and Retraining
2
Do you have an attorney or other person who represents you?
□ Yes
Please provide name, mailing address, email address, and phone number(s):
□ No
I acknowledge that this Request will be kept confidential to the extent possible,
but information may be shared to the extent necessary and with those whose
involvement is necessary to resolve this matter, as explained in the EDR Plan (see
EDR Plan § V.B.1).
Your signature
Date submitted
Request for Assisted Resolution reviewed by EDR Coordinator/Circuit Director
of Workplace Relations on
EDR Coordinator/Circuit Director of Workplace Relations name
EDR Coordinator/Circuit Director of Workplace Relations signature
Local Court Claim ID (Court Initials–AR–YY–Sequential Number):
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FORMAL COMPLAINT FORM
APPENDIX 3
Submitted under the Procedures of
the Seventh Circuit Employment Dispute Resolution Plan***
Court:
Full name of person submitting the form (Complainant):
Your mailing address:
Your email address:
Your phone number(s):
Office in which you are employed or applied to:
Name and address of Employing Office from which you seek a remedy (if the matter
involves a judge or chambers employee, the Employing Office is the Court):
Your job title/job title applied for:
Date of interview (for interviewed applicants only):
Date(s) of alleged incident(s) for which you seek a remedy:
Summary of the actions or occurrences giving rise to the Complaint (attach additional
pages as needed):
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Describe the remedy or corrective action you seek (attach additional pages as needed):
Identify, and provide contact information for, any persons who were involved in
this matter, who were witnesses to the actions or occurrences, or who can provide
relevant information concerning the Complaint (attach additional pages as
needed):
Identify the Wrongful Conduct that you believe occurred (check all that apply):
□ Discrimination based on (check all □ Harassment based on (check all that
that apply): apply):
□ Race □ Race
□ Color □ Color
□ Sex □ Sex
□ Gender □ Gender
□ Gender identity or expression □ Gender identity or expression
□ Pregnancy □ Pregnancy
□ Sexual orientation □ Sexual orientation
□ Religion □ Religion
□ National origin □ National origin
□ Age □ Age
□ Veteran status □ Veteran status
□ Disability □ Disability
□ Genetic information □ Genetic information
□ Citizenship □ Citizenship
□ Abusive Conduct
□ I have already sought Assisted Resolution for this Abusive Conduct claim.
Provide date Request for Assisted Resolution submitted and concluded, and describe the
resolution, if any:
□ Retaliation □ Uniform Services and Retraining
□ Whistleblower Employment and □ Occupational Safety
Protection Reemployment and Health
□ Family and Medical Rights □ Polygraph Protection
Leave □ Worker Adjustment □ Other (describe)
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Do you have an attorney or other person who represents you?
□ Yes
Please provide name, mailing address, email address, and phone number(s):
□ No
□ I have attached copy(ies) of any documents that relate to my Complaint (such
as emails, notices of discipline or termination, job application, etc.)
I acknowledge that this Complaint will be kept confidential to the extent possible,
but information may be shared to the extent necessary and with those whose
involvement is necessary to resolve this matter, as explained in the EDR Plan (see
EDR Plan § IV.B.1).
I affirm that the information provided in this Complaint is true and correct to the
best of my knowledge:
Complainant signature
Date submitted
Complaint reviewed by EDR Coordinator on _
EDR Coordinator name
EDR Coordinator signature
Local Court Claim ID (Court Initials–FC–YY–Sequential Number):
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APPENDIX 4 -- REQUEST FOR REVIEW OF DECISION:
HOW TO APPEAL A FINAL DECISION ON AN EDR COMPLAINT
The Judicial Council of the Seventh Circuit Adopted: May 10, 2022
Revised: ----
1. Introduction. These rules govern the procedures for requesting review of a
decision on a complaint filed pursuant to the Employment Dispute Resolution Plan for the
United States District Court for the Northern District of Illinois (“EDR Plan”). These rules
are adopted under Section IV.C.3(i) of the EDR Plan. The definitions contained in the EDR
Plan are incorporated by reference.
2. Request for Review. A party aggrieved by a final decision of the Presiding
Judicial Officer may appeal that decision to the Judicial Council of the Seventh Circuit. A
panel of no fewer than three members of the Judicial Council will conduct the review. The
review is based on the record created before the Presiding Judicial Officer. The panel will
affirm the decision of the Presiding Judicial Officer if the decision is supported by
substantial evidence and the proper application of legal principles. The panel’s decision is
not subject to further review.
3. Filing an Appeal. To file an appeal, complete and submit the Request for Review
of Decision (Appeal) form provided in Appendix 4. The form must set forth the grounds for
the appeal and be directed to the Circuit Executive of the Seventh Circuit at the following
e-mail address:
[email protected]. The appeal must be received no
later than 30 days following the date of the Presiding Judicial Officer’s final decision. If
the deadline occurs on a Saturday, Sunday, or holiday, the deadline shall be extended to the
next business day. Absent extraordinary circumstances, an appeal received after the 30-day
deadline will be rejected.
4. Processing the Appeal. Upon receipt of a timely appeal submitted on the form
provided in Appendix 4, the Circuit Executive will acknowledge receipt of the appeal and
forward a copy of the appeal to the other party, the Presiding Judicial Officer, and the EDR
Coordinator of the employing court. Upon receipt of the appeal, the EDR Coordinator will
inform both parties of the procedures for seeking review and will submit the complete
record of the EDR proceeding to the Circuit Executive. The Circuit Executive will forward
the complete record, along with the appeal, to the Chief Judge of the Seventh Circuit.
5. Review Panel. Upon receipt of the record and the appeal, the Chief Judge of the
Seventh Circuit will appoint a panel comprised of at least three members of the Judicial
Council to review the Presiding Judicial Officer’s final decision. If a member of the panel
is disqualified, the Chief Judge of the Seventh Circuit will designate a replacement. The
1
Circuit Executive will forward the complete record to the designated panel, which will then
set a briefing schedule if appropriate. The panel shall be empowered to act for and on behalf
of the Judicial Council.
6. Scope of Record on Appeal. Only claims presented to the Presiding Judicial
Officer will be considered on appeal, and evidence that was not before the Presiding
Judicial Officer will not be considered unless the panel requests additional evidence or
documentation from either party.
7. Standard of Review. The decision will be affirmed if supported by substantial
evidence and the proper application of legal principles. “Substantial evidence” is relevant
evidence that a reasonable mind might accept as adequate to support a conclusion.
8. Decision on Appeal. The panel will endeavor to issue a written decision within
60 days of receiving the record or the end of briefing, whichever is later. In the event
additional time is needed for review, the panel or its designee will so notify the parties.
Once the panel issues its decision, the Circuit Executive will promptly distribute a copy of
the panel’s written decision to both parties, the Chief Judge of the Seventh Circuit, the
Presiding Judicial Officer, and the EDR Coordinator of the employing court. Upon written
request to the Director of Workplace Relations, the decision will be made available free of
charge, appropriately redacted, and in accordance with the circuit’s procedures for the
release of final decisions.
9. Finality. The panel’s decision on an appeal is final and conclusive and not subject
to further review by the Judicial Council or otherwise.
2
Submitted under the Procedures of
the Seventh Circuit Employment Dispute Resolution Plan****
SAMPLE FORM
Name of Requesting Party
Address
Phone Number(s)
Email Address
Name of Court in Which Presiding Judicial Officer’s Decision Was Issued
, Requesting Party v.
, Responding Party
Request for Review of Decision on Formal Complaint
Notice is hereby given that ,
(Requesting Party) in the above-named case, hereby requests review by the Judicial
Council for the Seventh Circuit from the decision by Judge
entered in this matter on the day of ___________________, 20_____.
□ Attached to this request is a copy of the Presiding Judicial Officer’s decision.
State the reason(s) you contend that the Presiding Judicial Officer’s decision was
in error (attach additional pages if necessary):
Submitted this day of , 20 .
Signature of Requesting Party
Signature of Counsel, if any
Approved by the Seventh Circuit Judicial Council on
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POSTERS
APPENDIX 5
1
INFORMAL ADVICE
To request advice about a workplace concern,
contact your Employment Dispute Resolution
(EDR) coordinator, Circuit Director of Workplace
Relations, or the Office of Judicial Integrity.
They can provide you with advice and guidance ASSISTED RESOLUTION
on how to address the issue including: Contact an EDR Coordinator or Circuit
• Your rights under the EDR Plan Director of Workplace Relations to request
• Advice on handling discriminatory, Assisted Resolution. This interactive,
harassing, or abusive conduct flexible process may include:
• Discussions with the source of the
• Options for addressing the conduct
conduct
• Preliminary investigation, including
interviewing witnesses
• Resolving the matter by agreement
FORMAL COMPLAINT
Contact an EDR coordinator to file a formal complaint.
The Complaint must be filed within 180 days of the
alleged violation or the discovery of the violation.
This formal process includes:
• Appointment of Presiding Judicial Officer Contact Information:
• An investigation and/or hearing if appropriate Circuit Director of Workplace Relations:
Adam Graham, 312-435-5779
• Written decision
[email protected]
• Appeal rights Local EDR Coordinators:
Michelle Hennings, 312-435-5598
[email protected]
Confidentiality Michael Serratore, 312-435-5359
All options for resolution are intended to respect
[email protected]
privacy of all involved to the greatest extent
External EEO Counselor:
possible, and to protect the fairness and Dr. Daniel O'Grady
thoroughness of the process by which allegations
[email protected]
of wrongful conduct are initiated, investigated, and National Office of Judicial Integrity
ultimately resolved. 202-502-1603
[email protected]
Effective date: September 17, 2019
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APPENDIX 6
REASONABLE ACCOMODATIONS
The Court prohibits discrimination against qualified individuals with a disability. The
Court will provide reasonable accommodation(s) to enable qualified individuals with a
disability to perform the essential functions of their jobs, and to enable individuals to enjoy
benefits and privileges of employment equal to those enjoyed by employees without
disabilities.
The Court will engage in an interactive process with an applicant or employee who requests
an accommodation and make an individualized assessment of the request. An
accommodation will be provided in cases where the accommodation would not directly
threaten someone’s health or safety or create an undue hardship. An undue hardship is an
action requiring significant difficulty or expense.
Examples of possible accommodations include but are not limited to:
• Making existing facilities physically accessible to a disabled applicant or employee
• Job restructuring
• Part-time or modified work schedules
• Acquiring or modifying equipment or devices
• Leave of absence for a defined period of time and an extension of leave
• Modification or adjustment to the job application process
• Reassignment of an employee to a vacant position for which they are qualified.
Procedures and Administration
Applicants and employees requiring accommodation(s) should advise the Human
Resources Office in writing. Accommodation requests received by a supervisor or manager
should be referred to the Human Resources Office.
In addition, individuals seeking a reasonable accommodation may be required to
provide medical verification of their need for accommodation by submitting medical
information to the Human Resources Office. All medical information received will be
treated as confidential in accordance with Court policy and any applicable laws. Failure to
submit requested documentation may affect the Court’s decision to grant or deny the
requested accommodation.
Upon receiving a request for reasonable accommodation, the Court will engage in an
interactive process with the applicant or employee to identify potential accommodations.
If the accommodation is reasonable and will not directly threaten someone’s health or
safety or impose an undue hardship, the Court will grant the accommodation. The Court
may also propose and, where appropriate select, an alternative accommodation that allows
the employee to perform the essential functions of their position. Providing an employee
with a reasonable accommodation does not excuse the employee from meeting the job
requirements and performance standards in their position.
1
Anti-Discrimination and Anti-Harassment Notice
The Court prohibits employment discrimination on the basis of race, color, sex, gender, gender
identity or expression, pregnancy, sexual orientation, religion, national origin, age (40 years and
older), or mental or physical disability, veteran status, or genetic information (“protected
categories”). The court provides equal employment opportunities to all individuals, and
employment considerations will be based solely on merit, qualifications, and abilities.
The court also prohibits harassment based on any protected category, such as sexual or racial
harassment, or any abusive conduct, regardless of motivation. The court has adopted the
Employment Dispute Resolution Plan (EDR Plan) for the United States District Court for the
Northern District of Illinois, which allows employees, intern/externs, and applicants who have
been interviewed to seek redress for wrongful discrimination and harassment in the workplace and
provides other employment law protections. Retaliation for reporting any discrimination,
harassment, abusive conduct, or other wrongful conduct is prohibited.
Employees can report, resolve, or seek remedies for any discrimination, harassment or other
wrongful conduct under the EDR Plan by contacting any of the court’s EDR Coordinators listed
below. Employees can also seek confidential advice from a Circuit Director of Workplace
Relations or the AO’s Office of Judicial Integrity, listed below. A copy of the EDR Plan is posted
on the court’s internal and external websites, labeled “Your Employee Rights and How to Report
Wrongful Conduct.”
EDR Coordinators:
Michelle Hennings Michael Serratore
Local Coordinator Local Coordinator
312-435-5598 312-435-5359
[email protected] [email protected]
Office of Judicial Integrity Adam Graham
202.502.1603 Circuit Director of Workplace Relations
[email protected] 312-435-5779
[email protected]
Dr. Daniel O’Grady
External EEO Counselor
[email protected]
Virginia M. Kendall
Chief District Judge
